RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
J••• M•••• J••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 3, 2020 · Franklin, Tn
- A••••••••• W••••• P••••••• independent RIAJun 3, 2015 to May 29, 2020 · Minnetonka, Mn
- S•••••• F••••• F•••••••• A••••••• independent RIAJul 30, 2014 to May 28, 2015 · Bloomington, Mn
- L•• F•••••••• L•• BD affiliatedJan 21, 2014 to Jul 8, 2014 · Bloomington, Mn
- A••••••••• W••••• P••••••• to O•••• W•••••• I•••left May 29, 2020, registered Jun 3, 2020 (5 days) · RIA to affiliated broker-dealer or bank
- S•••••• F••••• F•••••••• A••••••• to A••••••••• W••••• P•••••••left May 28, 2015, registered Jun 3, 2015 (6 days) · Other
- L•• F•••••••• L•• to S•••••• F••••• F•••••••• A•••••••left Jul 8, 2014, registered Jul 30, 2014 (22 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address